Joseph Beach

Cadwalader, Wickersham & Taft LLP

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SEC Re-Proposes a Rule Prohibiting Conflicts of Interest in Certain Securitizations

On January 25, 2023, the Securities and Exchange Commission (“SEC” or “Commission”) issued a release (the “Re-Proposal”) proposing Rule 192 under the Securities Act of 1933, as amended (the “Securities Act”), a rule that is...more

2/10/2023 / Asset-Backed Securities , Conflicts of Interest , Proposed Rules , Regulatory Agenda , Regulatory Reform , Securities Act of 1933 , Securities and Exchange Commission (SEC) , Securities Regulation , Securitization

Court of Appeals Decision: Managers of Open-Market CLOs Not Subject to Dodd-Frank Risk Retention

On February 9, 2018, a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit unanimously ruled in favor of the Loan Syndications and Trading Association (“LSTA”) in its lawsuit against the...more

2/16/2018 / Appeals , Asset-Backed Securities , Collateralized Loan Obligations , Dodd-Frank , FRB , Loan Syndication and Trading Association (LSTA) , Risk Retention , Securities and Exchange Commission (SEC) , Securitization

New Rules for Third-Party Due Diligence Reports for Asset-Backed Securities

On August 27, 2014, the Securities and Exchange Commission (the “SEC”) adopted final rules (the “Final Rules”) implementing, among other things, provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act of...more

9/10/2014 / Asset-Backed Securities , Compliance , Dodd-Frank , Due Diligence , Securities and Exchange Commission (SEC) , Third-Party Risk

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